About the role
As a Compliance Specialist at Triad Wealth Partners, you will provide essential support to the Director of Compliance in administering the Firm’s compliance program. This role is focused on the execution and monitoring of compliance activities to help ensure the Firm meets regulatory requirements, industry best practices, and internal policies. The Compliance Specialist will assist with testing, surveillance, regulatory filings, training coordination, and compliance documentation, while serving as a resource to Triad Wealth’s member firms and business partners. This is a hands-on role for a detail-oriented professional interested in developing expertise in compliance within a growing SEC-registered investment adviser.
What you'll do
- Conduct routine compliance reviews and surveillance, including advertising, email/communications, trade activity, and client file reviews.
- Assist with the preparation and filing of regulatory forms, including Form ADV, U4s, U5s, 13F, and 13H.
- Support the Director in preparing for regulatory exams, field audits, and mock audits by gathering documents and coordinating responses.
- Maintain compliance records in accordance with SEC recordkeeping requirements, including advertising, correspondence, training logs, and testing results.
- Monitor compliance software systems (e.g., Red Oak, CRM, Orion, custodian platforms, Smarsh) to identify issues and escalate as appropriate.
- Help maintain compliance policies and procedures, including version control and documentation of updates.
- Track and coordinate compliance training requirements, assist in developing training materials, and maintain attendance/acknowledgement records.
- Research regulatory changes and industry updates, summarizing findings for the Director and Chief Compliance Officer.
- Provide timely responses and support to member firms on compliance-related questions.
- Participate in compliance-related projects and initiatives as assigned by the Director of Compliance.
Qualifications
- Bachelor’s degree preferred.
- 2–5 years of compliance, operations, or regulatory experience in the financial services industry (RIA, broker-dealer, or related).
- Familiarity with SEC and state investment adviser regulations.
- Experience with compliance systems (e.g., Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh, Hadrius, Greenboard) preferred.
- Strong organizational skills with meticulous attention to detail and ability to handle confidential information.
- Excellent analytical, problem solving, and communication skills, both written and verbal.
- Proficiency with Microsoft Office Suite and ability to learn adviser technology platforms.
- Ability to manage multiple tasks and deadlines in a fast-paced environment.
- Team-oriented, with the ability to collaborate across different levels of the organization.
What Are Our Benefits?
- Competitive compensation
- Health, dental and vision insurance
- Generous PTO
- 401k Plan
- Team events
Additional Information
This role reports to the Director of Compliance and offers in-office, hybrid (at least two office days in a typical workweek), and remote work arrangements (if residing more than 45 miles from Lawrence, Kansas). You’ll work with your leader to determine which option best aligns for you.
This role will become available on or after January 1, 2027.
As an associated person of Triad Wealth, this position is subject to SEC restrictions on personal political contributions, personal securities transactions, and gifts & entertainment.